This document provides an overview of density functional theory and methods for modeling strongly correlated materials. It discusses the limitations of standard DFT approaches like LDA for strongly correlated systems and introduces model Hamiltonians and correction methods like LDA+U, LDA+DMFT, self-interaction correction, and generalized transition state to better account for electron correlation effects. The document outlines the basic theory and approximations of DFT, including Kohn-Sham equations and the local density approximation, and discusses basis set approaches like plane waves, augmented plane waves, and pseudopotentials.

1. Electronic structure of strongly
correlated materials
Part I
Vladimir I. Anisimov
Institute of Metal Physics
Ekaterinburg, Russia

2. Outline
• Density Functional Theory
• Wannier functions and Hamiltonian construction
• Static mean-field approximation: LDA+U method
• LDA+U method applications to real materials with orbital,
charge and spin order
• Dynamical mean-filed theory (DMFT), impurity solvers
• LDA+DMFT method and its applications to strongly
correlated metals and paramagnetic insulators
• Electronic structure and correlation effects

3. Problem
Correlated electrons
motion with full
Coulomb interaction
Independent electrons
motion with static mean-field
Coulomb interaction potential
from Density Functional Theory

4. Problem
Weakly correlated
systems
Strongly correlated
metals
Localized electrons
in Mott insulators

5. Model Hamiltonians
Hubbard and Anderson models
unknown parameters
many-body
explicit Coulomb correlations
Density Functional Theory
LDA
ab-initio
one-electron
averaged Coulomb interaction
Problem
Coulomb correlations problem
combined LDA+U and LDA+DMFT approaches
(GW, Time Dependent DFT are also a promising way)

6. L(S)DA input
L(S)DA calculations produces:
• one-particle Hamiltonian for itinerant states
• one-particle non-interacting Hamiltonian for localized states
• hybridization term between localized and itinerant states
• Coulomb interaction parameters (direct U and exchange J)
for localized states
Orbital variation space
partially localized subspace
(d- or f-orbitals)
itinerant subspace
(s-,p-orbitals)

7. Electronic structure calculations
Many-electrons equations
 EH
where   ( , ,..., )x x x1 2 N is many electron wave function depending on
Nxxx ,...,, 21 coordinates of all N electrons
H H
eN NN
 
 


 
  
 
1
2
11
1
2 | |x x
Hamiltonian is a sum of one-electron and many-electron (Coulomb interaction) parts

8. Electronic structure calculations
Many-electrons equations
)(
2
2
2
 xZV
m
H 

V
Ze
Z  
2
| |x
Kinetic energy
and nuclear charge
potential energy contributions
to one-electron Hamiltonians
Electrons variables separation leads to one-electron approximation:
( , ,..., ) ( ) ( )... ( )x x x x x x1 2 1 1 2 2N N Nu u u
u is one-electron wave function

9. Electronic structure calculations
Hartree-Fock approximation
 
1
1 1 1 2 1
2 1 2 2 2
1 2
N
u u u
u u u
u u u
N
N
N N N N
( ) ( ) ... ( )
( ) ( ) ... ( )
. . . .
. . . .
( ) ( ) ... ( )
x x x
x x x
x x x
Slater determinant satisfies antisymmetric
properties of fermionic wave function

10. Electronic structure calculations
Hartree-Fock equations
Mean-field potential with direct and exchange parts.
Terms with  explicitly cancel self-interaction.
H u u u u
u u u N
N
    
 
   
             
( ) ( )
| |
{ ( ) ( )
( ) ( )} ( ),( ), ( )
x x
x x
x x
x x dx x



  
 


2
1
1

11. Electronic structure calculations
Hartree-Fock equations
Direct terms can be expressed via electron density:
 
  Nuuuu
uuuuH
N
N





 





 
 


 

1),()()(
||
2
)(
)()(
||
2
)()(
1
)(),(
1
xxdxx
xx
x
xdxx
xx
xx







8
)()()(
||
2
)()(
||
2
)()(
2










H
H
V
uu
uuV
sss
ds
sx
sdss
sx
sx

12. Electronic structure calculations
Hartree-Fock equations
Exchange terms can be written as a sum of pair potentials:
V u u d  ( ) ( )
| |
( )x s
x s
s s



2
Hartree-Fock equations have a form:


  uuVuVV HZ   )(),(
2
}{
Orbital dependent potential
that couples equations in the
system with each other

13. Electronic structure calculations
Slater approximation for exchange
Exchange potential for homogeneous electron gas:
Local density approximation:
Decoupled one-electron equations
Vex ( )
( )
x
x
 





6
3
8
1
3


{ }    2
V V V u uZ H exc   

14. Density Functional Theory
According to Hohenberg-Kohn theorem that is a basis of DFT, all ground state
properties of inhomogeneous interacting electron gas can be described by
minimization of the total energy as a functional of electron density ρ(r):
Density Functional
where T[ρ] is kinetic energy, Vext (r) - external potential acting on electrons
(usually that is attractive nuclear potential), third term describes
Coulomb interaction energy (Hartree energy) corresponding to charge
distribution ρ(r) and Exc is so called exchange-correlation energy.

15. Density Functional Theory
For practical applications ρ(r)
can be expressed via one-electron wave functions φi(r):
where N is total number of electrons.
To minimize the functional one need to vary it over new variables φi(r)
with additional condition that wave functions are normalized. That leads to
the system of Kohn-Sham differential equations:
Electron density variation

16. Density Functional Theory
Here RI is position vector for nucleus with charge ZI ; εi are Lagrange multipliers
having the meaning of one-electron eigenenergies and exchange-correlation
potential Vxc is a functional derivative of exchange-correlation energy Exc:
Kohn-Sham equations
Eigenvalue εi is derivative of the total
energy in respect to the occupancy of the
corresponding one-electron state ni:
]0[]1[  iii nEnEIn Hartree-Fock

17. Density Functional Theory
DFT applications are based predominantly on so called Local Density
Approximation (LDA) where exchange-correlation energy is defined as an
integral over space variables r with an expression under integral depending
only on local value of electron density ρ(r):
Local Density Approximation (LDA)
For spin-polarized systems one can use Local Spin Density Approximation (LSDA)
Here εxc(ρ) is contribution of exchange and correlation effects in total energy
(per one electron) of homogeneous interacting electron gas with density ρ.

18. Density Functional Theory
In Local Density Approximation (LDA) exchange-correlation potential in some
space point r depends only on local value of electron density ρ(r):
Local Density Approximation (LDA)
An explicit form of exchange-correlation potential as a function of local value of
electron density ρ(r) is:
V
d
dxc xc( ) ( ( ))r 

 
3
1
8
)(3
4))/3.241ln(0316.01()( 







 r
r ssxc rrV
3/1
4
3








srwhere
3
1
8
)(3
4)( 







 r
rexV
Pure exchange
potential:

19. Density Functional Theory
Kohn-Sham equations for periodic crystal (translational invariant potential
V(r+l)= V(r), l is lattice translation vector):
Bloch functions in crystal
Solution satisfying periodicity condition is Bloch function for wave vector k
having a form of a plane wave modulated by periodic function:
Bloch function satisfies
to relation:
H V E  ( ) { ( )} ( ) ( )r r r r   2
 ( ) ( ) ( ) exp( )r r r k rk k  u i u uk kr l r( ) ( ) 
 k kr l k l r( ) exp( ) ( )  i

20. Density Functional Theory
Calculations schemes for Kohn-Sham equations are based on variational
approach. Wave functions are expressed as series in complete set of basis
functions:
Electronic structure calculations methods
Equivalent set of linear
equations for coefficients
i
na
Hamiltonian and overlap matrices

21. Density Functional Theory
Existing DFT methods could be divided in two major groups. One of them uses as
a basis set atomic-like orbitals centered at atoms and decaying with increasing a
distance from the center, for example Muffin-tin orbital (MTO) in
Linearized Muffin-Tin Orbitals (LMTO) method :
Linearized Muffin-Tin Orbitals (LMTO) method
Rl(|r|,E) is radial variable dependent part of Kohn-Sham equation
solution for spherically symmetric potential inside atomic sphere with radius S.

22. Density Functional Theory
Another group of DFT methods uses delocalized plane waves as a basis set:
Plane wave basis
where k is wave vector and g - reciprocal lattice vector.
Plane waves are good basis for
inter-atomic regions
where potential varies slowly
while atomic like orbitals describe better
intra-atomic areas with strong potential
and wave functions variations

23. Density Functional Theory
Augmented Plane Wave is defined as
Linearized Augmented Plane Waves (LAPW) method
Combined nature of LAPW basis functions allows
good description of Bloch functions in all space regions
(inter-atomic as well as intra-atomic)

24. Density Functional Theory
Pseudopotential approach
Smooth behavior of
pseudofunction inside atomic
core area allows to use plane
wave basis for whole crystal
Real potential and wave function are replaced by some pseudopotential
and corresponding pseudofunction that coincide with real functions
and real potential outside atomic core area

25. Density Functional Theory
Breakdown of LDA for strongly correlated systems
NiO and CoO are experimentally
wide gap insulators (Mott
insulators) but LSDA gave
small gap insulator for NiO and
metal for CoO with partially
filled t2g spin-down electronic
subshell
LDA potentials are the same for all orbitals with the possible
difference due to exchange interaction:
NiO CoO

26. Corrections to Density Functional Theory
Self-Interaction Correction (SIC) method
Orbital dependent potential with “residual self-interaction”
present in LDA explicitly canceled for all occupied states i:
is charge density for state i
SIC correction is absent for empty states and
so energy separation between occupied and
empty states results in energy gap appearance

27. Corrections to Density Functional Theory
Generalized Transition State (GTS) method
Excitation energy for electron removal from state i is
equal to total energy difference between final and initial configurations:
GTS correction is positive for empty states and negative for occupied states
and energy separation between occupied and empty states appears
=
=
Many other corrections
were developed to imitate
Mott energy gap:
GW, Optimized Effective potential,
Hybrid Functional et ct
using:

28. Basic models in strongly correlated systems theory
Hubbard model
Local Coulomb interaction between electrons with Coulomb parameter U
defined as an energy needed to put two electrons on the same atomic site:
tij is hopping matrix element
describing kinetic energy terms .

29. Basic models in strongly correlated systems theory
tJ-model
creation operator for correlated electrons,
Anderson kinetic exchange.
tJ-model can be derived from Hubbard model in the limit U>>t

30. Basic models in strongly correlated systems theory
Kondo lattice model
S is spin operator for localized electrons,
Itinerant electrons spin operator.
Usually is applied to rare-earth elements compounds where 4f-
electrons are considered to be completely localized with exchange-only
interaction with itinerant metallic electrons

31. Basic models in strongly correlated systems theory
Periodic Anderson model (PAM)
Fermi operators for itinerant s- and
localized d-electrons respectively
Vij s-d hybridization parameter.
If hopping between d-electrons term is added to PAM then the most general
model Hamiltonian is defined that gives complete description of any material.

32. General functionals
(electron density,
spectral density et. ct.)
Model Hamiltonians with
DFT parameters
Problem
“Dream” fully ab-initio method
How to define interaction term in
ab-initio but still practical way?
Orbitals?

33. DFT and correlations
DFT-input: non-interacting Hamiltonian and
Coulomb interaction parameters (H0, U)
Standard approximation: Green functions are calculated
using DOS (N0) from DFT
(-) Reliable results only for high-symmetry (cubic) systems
Self-energy operator
for cubic systems:
Green function:

34. General formula using non-interacting Hamiltonian
obtained by projection of the correlated states into
full-orbital DFT Hamiltonian space
Open questions:
1) Choice of basis for projected Hamiltonian
2) Procedure of projecting
DFT + correlations: general case
Low-symmetry systems?

35. Problem of orbitals definition
What are Hubbard model basis orbitals?
Some kind of atomic-like site-centered localized orbitals without explicit definition.
Matrix elements are considered as a fitting parameters.
Why not to use LMTO basis?
Pure atomic orbitals neglect strong covalency effects. For example unoccupied
Cu-3d x2-y2 symmetry states in cuprates have predominantly oxygen 2p-character.
One need new “physically justified” orbital basis set
for Hamiltonian defined on the correlated states subspace

36. Why Wannier Functions?
Advantages of Wannier function basis set:
<Explicit form of the orbitals
forming complete basis set
Localized orbitals
Orbitals are centered on atoms
Wannier functions in real space [1]:
[1] G.H. Wannier, Phys. Rev. 52, 192 (1937)
Bloch functions
like in Hubbard model
Uncertainty of WF definition
for a many-band case:
Unitary matrix

37. Wannier functions and projection
Eigenvector
element
WF in k-space – projection of the set of trial functions [2] (atomic
orbitals) into Bloch functions subspace :
Bloch functions in DFT basis
(LMTO or plane waves):
coefficients of WF expansion in LMTO-orbitals:
Bloch sums of
LMTO orbitals
[2] D.Vanderbildt et al, Phys. Rev.B 56, 12847 (1997)

38. Example of WF in real space
WF basis set for V-3d (t2g) subband of SrVO3: XY, XZ, YZ - orbitals

39. Example of WF in real space
V-3d (3z2-r2) WF orbital for SrVO3
3D plot of WF isosurface:
1. decrease from |WF| = 0.5 to 0.02
2. rotation around z-axis
3. rotation around x,z axes and increase to |WF| = 0.5
Max{|WF|} = 1

40. d-xy WF for NiO
Dm.Korotin et al, Europ. Phys. J. B 65, 91 (2008).
Full bands projection d-bands only projection

41. WF in cuprates
V. V. Mazurenko, et al, Phys. Rev. B 75, 224408 (2007)
Crystal structure of LiCu2O2
Green, red, blue, black, and
yellow spheres are Cu2+
Cu+,O, and Li ions, respectively.

42. WF in cuprates
V. V. Mazurenko, et al, Phys. Rev. B 75, 224408 (2007)
Wannier orbitals
centered on
neighboring
copper atoms along
the y axis.

43. WF in cuprates
V. V. Mazurenko, et al, Phys. Rev. B 75, 224408 (2007)
900 bond between Cu Wannier functions cancels
antiferromagnetic kinetic energy exchange. Overlap on oxygen
atoms gives ferromagnetic exchange due to Hund interaction on
oxygen 2p-orbitals

44. WF for stripe phase in cuprates
V.Anisimov et al, Phys. Rev. B 70, 172501 (2004)
La7/8Sr1/8CuO4
Half-filled band

45. WF for stripe phase in cuprates
Cu
O
Cu
O O
O O

46. Projection procedure for Hamiltonian
Matrix elements of projected Hamiltonian:
*
=
bands
orbitals
N1
N2
LMTO Eigenvectors, Eigenvalues
cni cmi εi HWF

47. Projection results for SrVO3
Full-orbital
Hamiltonian
Projected
Hamiltonian
Eigenvalues of full-orbital and projected Hamiltonians are the same
Projected Hamiltonian DOS corresponds to the
total DOS of full-orbital Hamiltonian

48. Constrain DFT Calculation of U
Matrix of projected Hamiltonian in real space:
Density matrix operator:
Energy of n-th WF:
Occupation of n-th WF:
Coulomb interaction

49. Definition of WF using Green-functions
WF definition:
where
In the absence of Self-energy:
Coincides with definition of WF using Bloch functions

50. Calculation scheme
Coulomb interaction Hamiltonian:
where Vee is screened Coulomb interaction between electrons in idndld shell
with matrix elements expressed via complex spherical harmonics
and effective Slater integral parameters Fk
where k = 0, 2, . . . , 2l

51. Calculation scheme
Coulomb interaction Hamiltonian:
where Ykq are complex spherical harmonics.
C Y Y Y dLL L L L L' ''
*
' ''() () ()  r r r 
2
1
2
1
''
'''
)!''()!''()!''''()!''''(
)!()!(
)12(4
)1''2)(1'2(
)!12(
)!1'2()!1''2(
)1(




















mlmlmlml
mlml
l
ll
l
ll
C m
LLL

Gaunt coefficients, L=(l,m):

52. Calculation scheme
Coulomb interaction Hamiltonian:
For d electrons one needs to know F0, F2 and F4 and these can be linked to the
Coulomb and Stoner parameters U and J obtained from the constrain DFT
procedures, while the ratio F2/F4 is ~ 0.625 for the 3d elements. For f electrons
the corresponding expressions are J = (286F2 + 195F4 + 250F6)/6435 and ratios
F4/F2 and F6/F2 equal to 451/675 and 1001/2025.

53. Calculation scheme
Coulomb parameter U calculations:
Screened Coulomb potential:
Unscreened Coulomb potential:
Polarization operator:
Strong dependence on the number of occupied and empty states
included in the summation for polarization operator

54. Calculation scheme
Coulomb parameter U calculations:
Constrain DFT method
Definition:
DFT analogue:
Connection of one-electron
eigenvalues and total energy in DFT:
DFT calculations with constrain potential:
Energy of n-th WF:
Occupation of n-th WF:

55. Calculation scheme
Coulomb interaction Hamiltonian:
The general Hamiltonian assumes possibility of mixing for orbitals with different
m values (or in other words possibility for electrons occupy arbitrary linear
combinations of |inlmσ> orbitals). However in many cases it is possible to
choose “natural” orbital basis where mixing is forbidden by crystal symmetry.
In this case terms c+
ilmσcilm′σ with m non equal to m′ are absent and Coulomb
interaction Hamiltonian can be written as
Third terms corresponds to spin flip for electron on m orbital with
simultaneous reverse spin flip on orbital m′ that allows to describe x and y
spin components while the fourth term describes pair transition of two
electrons with opposite spin values from one orbital to another.

56. Calculation scheme
Coulomb interaction Hamiltonian:
is particle number operator for electrons on orbital |inlmσ>
Here we have introduced matrices of direct
Umm′ and exchange Jmm′ Coulomb interaction:
Neglecting spin-flip effects and leaving only density-density terms we have:

57. Calculation scheme
Coulomb interaction Hamiltonian:
Kanamori parameterization is usually used where for
the same orbitals (m = m′) direct Coulomb interaction
Umm ≡ U, for different orbitals (m non equal m′)
Umm′ ≡ U′ with U′ ≡ U − 2J and exchange interaction
parameter does not depend on orbital index Jmm′ ≡ J.
In this approximation Hamiltonian is:

58. Calculation scheme
Double-counting problem for Coulomb interaction
Full Hamiltonian is defined as:
In DFT Coulomb interaction energy is a functional of electron density that is
defined by the total number of interacting electrons nd. Hence it is reasonable to
assume that Coulomb interaction energy in DFT is simply a function of nd :

59. Calculation scheme
Double-counting problem for Coulomb interaction
To obtain correction to atomic orbital energies d in this approximation
one needs to recall that in DFT one-electron eigenvalues are derivatives of
the total energy over corresponding state occupancy nd
and the term in Hamiltonian responsible for “double counting” correction HDC is
and hence correction to atomic orbital energy DC can be determined as:

60. Calculation scheme
LDA+correlations Hamiltonian: Coulomb
0
correl+LDA HˆHˆ=Hˆ 
Coulomb interaction term 'm',m,l=l,i=i
'
ilm'ilm
'
mm'Coulomb
dd
nˆnˆU=Hˆ


Non-interacting Hamiltonian
)
2
1
n(U))1n(Un
2
1
E(
n
dddLDA
0



 


Double-counting correction:
σ
α'
σαα'
σ
ααα'
σ
α
0
ααα'
DCLDA
0
cctnεδ
H-H=H
ˆˆˆ
ˆˆˆ
 



61. LDA+U method: static mean-filed approx.
Static mean-field decoupling of four Fermi operators product:
results in one-electron Hamiltonian:

62. LDA+U method: static mean-filed approx.
LDA+U functional:
One-electron energies: )n
2
1
(U
n
E
iLDAi
i




Occupied states:
2
U
1n LDAii



ji
jiddLDA
nnU
2
1
)1n(Un
2
1
EE
Empty states:
2
U
0n LDAii

Mott-
Hubbard
gap
Coulomb interaction parameter
d
LDA
n
U




63. LDA+U method: general formalism
LDA+U functional:
}nn)JU(
nnU{
2
1
}]n[{E
mmmmmmmmmmmm
}m{
mmmmmmmmU











 
Interaction term:
}]n[{E}]n[{E)]r([E}]n{),r([E DCULSDAULDA



Double-counting term:
1)](nn1)(nJ[n
2
1
1)(nUn
2
1
}][{nE
dddd
dd
σ
DC



V.Anisimov et al, Phys. Rev.B 44, 943 (1991); J.Phys.: Condens. Matter 9,767 (1997)

64. LDA+U potential correction
Non-local LDA+U potential operator:
Potential correction matrix:
||ˆˆ 


minlVinlmHH
mm
mmLSDAULDA
 

)
2
1
n(J)
2
1
n(U
}n)JU(nU{V
dd
mmmmmmmmmmmm
mm
mmmmmm










 
Occupation matrix:





FE
mmULDAmm
Hdn 1
]ˆ[Im
1



65. Exchange interaction couplings
Calculation of J from LDA+U results:



   i
mm
i
mm
i
mm
j
mm
ij
mmmm
}m{
i
mmij
VVIIIJ
A.Lichtenstein et al, Phys. Rev.B 52, R5467 (1995)
mjl
k'n
'ilm
k'n
mjl
nk
ilm
nk
'knn
k'nnk
k'nnkij
mmmm
cccc
ff 







  


ji
2
ij
ij
jiij
E
JSSJE


 

Heisenberg Hamiltonian parameters:
LDA+U eigenvalues
and eigenfunctions:   
ilm
ilm
nknknk
ilm|c;